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Do you need to file a Continuing Membership Application (CMA) under NASD Rule 1017?

Didn't make it to the NASD Operations Conference? 

Review Notes and Important Topics Covered

ARCHIVE NEWLETTERS

2007 April

2007 February

2006 December

2006 September

2006 July

2006 June

IMPORTANT REMINDERS

Notice to Members:

For your convenience, we have prepared brief summaries with links to full NTM notices.  Read More...

NSCP Compliance Conference:

Meet Renee Hall, Jane Abramczyk, and Greg Sylvain at the NSCP Compliance Conference in Boston on April 23, 2007. www.nscp.org

Proposed Changes to Net Capital Rule

Read this article by Danielle Paul

SUPERVISORY TOPIC:

Outside Business Activities and Private Securities Transactions

Read this article by Laura Crosby-Brown

The Real Meaning of Fiduciary Duty for Investment Advisers

Read this article

Bankruptcy Court Ruling Affects Potential Hedge Fund Risks

Read this article

Hedge Fund Proxy Voting - Borrowed Shares

Read this article

**IMPORTANT COURT RULING FOR BROKER DEALERS IN NEW YORK**

FOCUS OF NASD EXAM

 

"The World is Flat"

Read this article by Geoffrey T. Chalmers, Esq., a Boston-based securities attorney specializing in broker-dealer and investment adviser legal and compliance issues. He co-authored the broker dealer and adviser supervisory procedures manuals currently featured by Regulatory Compliance.  

New Hampshire Stands Alone! 

By Anne Farris

In 2005 the SEC approved changes to NASD Rule 3010 to create a Uniform Definition for Branch Office.  Each state then determined whether to adopt the uniform definition, and New Hampshire has not to date adopted the change.  New Hampshire’s definition of branch office is similar but firms should still determine whether they need to register locations in New Hampshire beyond those required by the Uniform Definition. Read More...

 

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